Brian L. Finnerty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Leonard Finnerty was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1974. Brian had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 55, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2006 - October 29, 2024
RAYMOND JAMES & ASSOCIATES, INC.
September 15, 2006 - October 29, 2024
RAYMOND JAMES & ASSOCIATES, INC.
January 11, 2005 - September 19, 2006
A. G. EDWARDS & SONS, INC.
September 22, 2003 - September 19, 2006
A. G. EDWARDS & SONS, INC.
November 20, 2002 - September 17, 2003
MELHADO, FLYNN & ASSOCIATES, INC.
April 4, 2002 - September 17, 2003
MELHADO, FLYNN & ASSOCIATES, INC.
February 16, 1993 - April 4, 2002
CANACCORD GENUITY SECURITIES LLC
September 30, 1988 - April 14, 1992
LEHMAN BROTHERS INC.
August 26, 1980 - August 30, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
March 6, 1979 - September 22, 1980
E. F. HUTTON & COMPANY INC
January 14, 1975 - May 4, 1977
DREXEL BURNHAM LAMBERT INCORPORATED
February 14, 1974 - March 15, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 9/26/2000
Limited Representative-Equity Trader ExamPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 2/7/1974
General Securities Principal ExaminationSeries 1
Date: 2/7/1974
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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